Ethical Guidelines for Research Using Pervasive Data

<NOTICE> DEPARTMENT OF COMMERCE <SUBAGY>National Telecommunications and Information Administration</SUBAGY> <DEPDOC>[Docket No. 241204-0309]</DEPDOC> <RIN>RIN 0660-XC064</RIN> <SUBJECT>Ethical Guidelines for Research Using Pervasive Data</SUBJECT> <HD SOURCE="HED">AGENCY:</HD> National Telecommunications and Information Administration (NTIA), Department of Commerce. <HD SOURCE="HED">ACTION:</HD> Notice, request for public comments. <SUM> <HD SOURCE="HED">SUMMARY:</HD> The National Telecommunications and Information Administration (NTIA) is seeking public input on the potential writing of ethical guidelines for the use of “pervasive data” in research. “Pervasive data” refers to data about people gathered through online services. NTIA will rely on these comments, along with stakeholder engagements, in considering whether to draft and issue non-binding guidelines to assist researchers working with pervasive data. Such guidelines, if warranted, would detail how researchers can work with pervasive data while meeting ethical expectations of research and protecting individuals' privacy and other rights. </SUM> <DATES> <HD SOURCE="HED">DATES:</HD> Interested persons are invited to submit comments on or before January 15, 2025. </DATES> <HD SOURCE="HED">ADDRESSES:</HD> All electronic public comments on this action, identified by <E T="03">Regulations.gov</E> docket number NTIA-2024-0004, may be submitted through the Federal eRulemaking Portal at <E T="03">www.regulations.gov.</E> The docket established for this request for comments can be found at <E T="03">www.regulations.gov,</E> NTIA-2024-0004. Please do not include in your comments information of a confidential nature, such as sensitive personal information or proprietary information. All comments received are a part of the public record and will generally be posted to <E T="03">Regulations.gov</E> without change. All personally identifiable information ( <E T="03">e.g.,</E> name, address) voluntarily submitted by the commenter may be publicly accessible. Information obtained as a result of this notice may be used by the federal government for program planning on a non-attribution basis. <FURINF> <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD> Please direct questions regarding this Request for Comments to Emma Llansó, NTIA, 1401 Constitution Avenue NW, Washington, DC 20230, at <E T="03">ellanso@ntia.gov</E> or 202-482-3821. Please direct media inquiries to NTIA's Office of Public Affairs, telephone: (202) 482-7002; email: <E T="03">press@ntia.gov.</E> </FURINF> <SUPLINF> <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD> <HD SOURCE="HD1">Overview</HD> The National Telecommunications and Information Administration (NTIA) is seeking input from the public on the potential writing of ethical guidelines for the use of “pervasive data” in research. “Pervasive data” refers to data about people gathered through online services. <SU>1</SU> <FTREF/> Researchers have leveraged pervasive data to better understand human behavior, societal forces, public health, and the impact of the technology that surrounds us. These insights are essential for informing policy in the digital age, and researchers and organizations have called for ethical guidelines to help ensure this work is done responsibly. <SU>2</SU> <FTREF/> Such guidelines, if warranted, would detail how independent third-party researchers  <SU>3</SU> <FTREF/> can work with pervasive data while meeting ethical expectations of research and protecting individuals' privacy and other rights. The goal of ethical guidelines would be to outline principles and best practices that researchers, research institutions, data intermediaries, <SU>4</SU> <FTREF/> and online service providers can choose to follow when involved in research with pervasive data. Any such ethical guidelines may be a reference for research conducted solely within the United States (U.S.) or through international collaborations. <FTNT> <SU>1</SU>  The term <E T="03">pervasive data</E> is intended to mean data about people—user-contributed, observed, derived, or inferred—collected through online services regardless of the extent to which the data is publicly available, is aggregated, or could lead to the identification of an individual. Pervasive data may include text, images, videos, biometric information, information about a data subject's behavior (purchases, financial standing, media consumption, search history, medical conditions, location, etc.), and other information that makes up a person's digital footprint. <E T="03">Online services</E> may include a wide range of information technologies throughout the technology stack/technical infrastructure, including but not limited to web-based monitoring tools, content delivery networks, blockchain technology, digital labor platforms, education technology, Internet of Things devices, connected cars, wearable devices, mobile sensors, data brokers, streaming services, search engines, online marketplaces, social media platforms, and AI systems. The term pervasive data is informed by research conducted under NSF Grant Award Number 1144934 ( <E T="03">https://www.nsf.gov/awardsearch/showAward?AWD_ID=1144934</E> ). </FTNT> <FTNT> <SU>2</SU>   <E T="03">See e.g.</E> Michael Zimmer, <E T="03">Addressing Conceptual Gaps in Big Data Research Ethics: An Application of Contextual Integrity,</E> Social Media + Society 4, no. 2 (2018), <E T="03">https://doi.org/10.1177/2056305118768300;</E> aline shakti franzke et al., <E T="03">internet Research: Ethical Guidelines 3.0, Association of internet Researchers</E> (2020), <E T="03">https://aoir.org/reports/ethics3.pdf.</E> </FTNT> <FTNT> <SU>3</SU>  The ethics and privacy guidelines described for consideration in this Request for Comments focus on the flow of data from online service providers to independent researchers that operate outside of the online service provider and are often affiliated with an academic or non-profit institution. </FTNT> <FTNT> <SU>4</SU>  The term <E T="03">data intermediary</E> is intended to describe an independent entity that is operated specifically to facilitate data access and sharing under commercial or non-commercial agreements between researchers and online service providers or that evaluates and approves researcher requests for access to designated subsets of stored pervasive data. <E T="03">See</E> Organisation for Economic Co-operation and Development, <E T="03">Data Stewardship, Access, Sharing, and Control: A Going Digital III module synthesis report,</E> DSTI/CDEP(2022)6/FINAL (2023) at 37. </FTNT> NTIA will rely on these comments, along with engagements with researchers, civil society, research institutions, industry, and other government bodies, to consider whether to draft and issue guidelines to assist researchers working with pervasive data. The ethical guidelines outlined for consideration in this Request for Comments would be non-binding and would not supersede any existing laws or regulations, or pre-empt future laws. For example, human subjects research conducted or supported by one of the U.S. government departments or agencies that have adopted the Federal Policy for the Protection of Human Subjects (`Common Rule')  <SU>5</SU> <FTREF/> would need to adhere to any applicable regulatory requirements. Federal agencies and federal data are bound by additional laws and regulations, which these voluntary ethical guidelines would not supersede. <SU>6</SU> <FTREF/> <FTNT> <SU>5</SU>   <E T="03">See</E> Office for Human Research Protections (OHRP), <E T="03">Federal Policy for the Protection of Human Subjects ('Common Rule'),</E> OHRP (June 23, 2009), <E T="03">https://www.hhs.gov/ohrp/regulations-and-policy/regulations/common-rule/index.html.</E> </FTNT> <FTNT> <SU>6</SU>   <E T="03">See, e.g.,</E> the Privacy Act of 1974, 5 U.S.C. 552a (1974); the Paperwork Reduction Act of 1980, 44 U.S.C. 3501-3521 (1980); the Federal Information Security Modernization Act of 2014, Public Law 113-283 (2014); the E-Government Act of 2002, 44 U.S.C. 101 (2002). </FTNT> <HD SOURCE="HD1">Background</HD> Research with pervasive data is essential in efforts to understand the impact of technology on society. For example, the Kids Online Health and Safety Task Force Report and the Surgeon General's Youth Mental Health Advisory both emphasize that access to pervasive data, paired with privacy safeguards and ethical research guidelines, is essential to understanding technology's impact on children. <FTREF/> <SU>7</SU> Pervasive data is also crucial to enabling responsible research in other fast-moving technologies. For example, the National Artificial Intelligence (AI) Initiative Act of 2020, along with the CHIPS and Science Act of 2022, include landmark investments in AI research to advance the use of trustworthy AI. <SU>8</SU> <FTREF/> Such research often relies on pervasive data and should be conducted ethically. <SU>9</SU> <FTREF/> <FTNT> <SU>7</SU>  Kids Online Health and Safety Task Force, <E T="03">Online Health and Safety for Children and Youth: Best Practices for Families and Guidance for Industry,</E> Substance Abuse and Mental Health Services Administration (July 19, 2024), <E T="03">https://www.samhsa.gov/kids-online-health-safety-task-force/kohs-report-safe-internet-use;</E> Office of the Assistant Secretary for Health (OASH). <E T="03">Surgeon General Issues New Advisory About Effects Social Media Use Has on Youth Mental Health,</E> OASH (May 23, 2023), <E T="03"> https://www.hhs.gov/about/news/ 2023/05/23/surgeon-general-issues-new-advisory-about-effects-social-media-use-has-youth-mental-health.html. </E> </FTNT> <FTNT> <SU>8</SU>  William M. 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